Artisan Partners Asset Management Inc
For the period ended Dec 31, 2024. Filed Feb 25, 2025.
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FY2024 · Filed Feb 25, 2025
APAM$40.21+1.0%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 15. Exhibits and Financial Statement Schedules
(1) Financial Statements: The information required by this Item is contained in Item 8 of Part II of this report.
(2) Financial Statement Schedules: None
(3) Exhibits:
| Exhibit No. | Description | Form | File No. | Exhibit | Filing Date | Filed or Furnished Herewith |
|---|---|---|---|---|---|---|
| 2.1 | Agreement and Plan of Merger between Artisan Partners Asset Management Inc. and H&F Brewer Blocker Corp. | 10-K | 001-35826 | 2.1 | February 25, 2016 | |
| 3.1 | Restated Certificate of Incorporation of Artisan Partners Asset Management Inc. | 10-K | 001-35826 | 3.1 | February 25, 2016 | |
| 3.2 | Amended and Restated Bylaws of Artisan Partners Asset Management Inc. | 10-K | 001-35826 | 3.2 | February 25, 2016 | |
| 4.1 | Description of the Registrant's Securities | 10-K | 001-35826 | 4.1 | February 18, 2020 | |
| 10.1 | Fifth Amended and Restated Limited Partnership Agreement of Artisan Partners Holdings LP | 10-K | 001-35826 | 10.1 | February 25, 2016 | |
| 10.2 | Amended and Restated Resale and Registration Rights Agreement | 10-K | 001-35826 | 10.2 | February 25, 2016 | |
| 10.3 | Exchange Agreement | 10-K | 001-35826 | 10.3 | February 25, 2016 | |
| 10.4 | Tax Receivable Agreement (Merger) | 10-K | 001-35826 | 10.4 | February 25, 2016 | |
| 10.5 | First Amendment to Tax Receivable Agreement (Merger) | 10-K | 001-35826 | 10.5 | February 22, 2024 | |
| 10.6 | Tax Receivable Agreement (Exchanges) | 10-K | 001-35826 | 10.5 | February 25, 2016 | |
| 10.7 | First Amendment to Tax Receivable Agreement (Exchanges) | 10-K | 001-35826 | 10.7 | February 22, 2024 | |
| 10.8 | Stockholders Agreement | 10-K | 001-35826 | 10.6 | February 25, 2016 | |
| 10.9 | Form of Artisan Partners Holdings LP Restated Class B Common Units Grant Agreement | 10-K | 001-35826 | 10.12 | February 25, 2016 | |
| 10.10 | Form of Indemnification Agreement | 10-K | 001-35826 | 10.14 | February 25, 2016 | |
| 10.11 | Form of Indemnification Priority Agreement | 10-K | 001-35826 | 10.15 | February 25, 2016 | |
| 10.12 | Second Amended and Restated Investment Advisory Agreement between Artisan Partners Limited Partnership and Artisan Partners Funds, Inc. | X | ||||
| 10.13 | Artisan Partners Asset Management Inc. 2013 Omnibus Incentive Compensation Plan (1) | 10-K | 001-35826 | 10.9 | February 25, 2016 | |
| 10.14 | Amendment No. 1 to Artisan Partners Asset Management Inc. 2013 Omnibus Incentive Compensation Plan (1) | 10-K | 001-35826 | 10.8 | February 27 2023 | |
| 10.15 | Artisan Partners Asset Management Inc. 2013 Non-Employee Director Plan (1) | 10-K | 001-35826 | 10.10 | February 25, 2016 | |
| 10.16 | Form of Artisan Partners Asset Management Inc. 2013 Non-Employee Director Plan - Restricted Share Unit Award Agreement (1) | 10-K | 001-35826 | 10.18 | February 25, 2016 | |
| 10.17 | Form of Artisan Partners Asset Management Inc. 2013 Omnibus Incentive Compensation Plan - Restricted Share Award Agreement (1) | 10-K | 001-35826 | 10.13 | February 20, 2019 | |
| 10.18 | Form of Artisan Partners Asset Management Inc. 2013 Omnibus Incentive Compensation Plan - Career Share Award Agreement (1) | 10-K | 001-35826 | 10.14 | February 20, 2019 | |
| 10.19 | Form of Artisan Partners Asset Management Inc. 2013 Omnibus Incentive Compensation Plan - Amended and Restated Restricted Share Award Agreement (1) | 10-K | 001-35826 | 10.15 | February 20, 2019 | |
| 10.20 | Form of Artisan Partners Asset Management Inc. 2013 Omnibus Incentive Compensation Plan - Amended and Restated Career Share Award Agreement (1) | 10-K | 001-35826 | 10.16 | February 20, 2019 | |
| Exhibit No. · Description · Form · File No. · Exhibit · Filing Date · Filed or Furnished Herewith | |||||
|---|---|---|---|---|---|
| 10.21 | Form of Artisan Partners Asset Management Inc. 2013 Omnibus Incentive Compensation Plan - Franchise Share Award Agreement (1) | 10-K | 001-35826 | 10.17 | February 20, 2019 |
| 10.22 | Form of Artisan Partners Asset Management Inc. 2013 Omnibus Incentive Compensation Plan - Performance Share Unit Award Agreement (1) | 10-K | 001-35826 | 10.18 | February 18, 2020 |
| 10.23 | Form of Artisan Partners Asset Management Inc. 2013 Omnibus Incentive Compensation Plan - Performance Share Unit Award Certificate for awards made on or after January 26, 2021 (1) | 10-K | 001-35826 | 10.19 | February 23, 2021 |
| 10.24 | Form of Artisan Partners Asset Management Inc. 2013 Omnibus Incentive Compensation Plan - Performance Share Unit Award Certificate for awards made on or after January 25, 2022 (1) | 10-K | 001-35826 | 10.20 | February 22, 2022 |
| 10.25 | Form of Artisan Partners Asset Management Inc. 2013 Omnibus Incentive Compensation Plan - Franchise Capital Award Agreement - Annual Vesting (1) | 10-K | 001-35826 | 10.20 | February 23, 2021 |
| 10.26 | Form of Artisan Partners Asset Management Inc. 2013 Omnibus Incentive Compensation Plan - Amended and Restated Franchise Capital Award Agreement - Career Vesting (PMs and Founders) (1) | 10-K | 001-35826 | 10.22 | February 22, 2022 |
| 10.27 | Form of Artisan Partners Asset Management Inc. 2013 Omnibus Incentive Compensation Plan - Amended and Restated Franchise Capital Award Agreement - Career Vesting (Non-PM) (1) | 10-K | 001-35826 | 10.23 | February 22, 2022 |
| 10.28 | Artisan Partners Asset Management Inc. 2023 Omnibus Incentive Compensation Plan (1) | 8-K | 001-35826 | 10.1 | June 1, 2023 |
| 10.29 | Artisan Partners Asset Management Inc. 2023 Non-Employee Director Plan (1) | 8-K | 001-35826 | 10.02 | June 1, 2023 |
| 10.30 | Form of Artisan Partners Asset Management Inc. 2023 Omnibus Incentive Compensation Plan - Restricted Share Award Agreement (1) | 8-K | 001-35826 | 10.1 | January 30, 2024 |
| 10.31 | Form of Artisan Partners Asset Management Inc. 2023 Omnibus Incentive Compensation Plan - Career Share Award Agreement (1) | 8-K | 001-35826 | 10.2 | January 30, 2024 |
| 10.32 | Form of Artisan Partners Asset Management Inc. 2023 Omnibus Incentive Compensation Plan - Franchise Share Award Agreement (1) | 10-K | 001-35826 | 10.32 | February 22, 2024 |
| 10.33 | Form of Artisan Partners Asset Management Inc. 2023 Omnibus Incentive Compensation Plan - Franchise Capital Award Agreement - Annual Vesting (1) | 10-K | 001-35826 | 10.33 | February 22, 2024 |
| 10.34 | Form of Artisan Partners Asset Management Inc. 2023 Omnibus Incentive Compensation Plan - Franchise Capital Award Agreement - Career Vesting (PMs and Founders) (1) | 10-K | 001-35826 | 10.34 | February 22, 2024 |
| 10.35 | Form of Artisan Partners Asset Management Inc. 2023 Omnibus Incentive Compensation Plan - Franchise Capital Award Agreement - Career Vesting (Non-PM) (1) | 10-K | 001-35826 | 10.35 | February 22, 2024 |
| 10.36 | Form of Artisan Partners Asset Management Inc. 2023 Non-Employee Director Plan - Restricted Share Unit Award Agreement (1) | 10-K | 001-35826 | 10.36 | February 22, 2024 |
| 10.37 | Note Purchase Agreement, dated as of August 16, 2017, among Artisan Partners Holdings LP and the purchasers listed therein | 8-K | 001-35826 | 10.1 | August 18, 2017 |
| 10.38 | Note Purchase Agreement, dated as of June 6, 2019, among Artisan Partners Holdings LP and the purchasers listed therein | 8-K | 001-35826 | 10.1 | June 6, 2019 |
| 10.39 | Note Purchase Agreement, dated as of December 7, 2021, among Artisan Partners Holdings LP and the purchasers listed therein | 8-K | 001-35826 | 10.1 | December 7, 2021 |
| Exhibit No. | Description | Form | File No. | Exhibit | Filing Date | Filed or Furnished Herewith |
|---|---|---|---|---|---|---|
| 10.40 | Amended and Restated Five-Year Revolving Credit Agreement, dated as of August 16, 2022, among Artisan Partners Holdings LP, the lenders named therein, and Citibank, N.A., as Administrative Agent and Citibank, N.A. and BofA Securities, Inc. as joint lead arrangers and joint book runners | 8-K | 001-35826 | 10.1 | August 17, 2022 | |
| 19.1 | Artisan Partners Code of Ethics & Insider Trading Policy | X | ||||
| 19.2 | Artisan Partners Asset Management Inc. Insider Trading Policy - Non-Employee Directors | X | ||||
| 21.1 | Subsidiaries of the Registrant | X | ||||
| 23.1 | Consent of Independent Registered Public Accounting Firm | X | ||||
| 31.1 | Certification of the Company’s Chief Executive Officer pursuant to Exchange Act Rules 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | ||||
| 31.2 | Certification of the Company’s Chief Financial Officer pursuant to Exchange Act Rules 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | ||||
| 32.1 | Certification of the Company’s Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (2) | X | ||||
| 32.2 | Certification of the Company’s Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (2) | X | ||||
| 97.1 | Policy Relating to Recovery of Erroneously Awarded Incentive-Based Compensation (1) | X | ||||
| 101 | The following Extensible Business Reporting Language (XBRL) documents are collectively included herewith as Exhibit 101: (i) the Consolidated Statements of Financial Condition as of December 31, 2024 and 2023; (ii) the Consolidated Statements of Operations for the years ended December 31, 2024, 2023 and 2022; (iii) the Consolidated Statements of Comprehensive Income for the years ended December 31, 2024, 2023 and 2022; (iv) the Consolidated Statements of Changes in Stockholders’ Equity for the years ended December 31, 2024, 2023 and 2022; (v) the Consolidated Statements of Cash Flows for the years ended December 31, 2024, 2023 and 2022 and (vi) the Notes to Consolidated Financial Statements as of and for the years ended December 31, 2024, 2023 and 2022 | X | ||||
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document contained in Exhibit 101) | X | ||||
| (1) Indicates a management contract or compensatory plan or arrangement. | ||||||
| (2) These certifications are deemed to be furnished and not filed for purposes of Sections 11 and 12 of the Securities Act of 1933 and Section 18 of the Securities Exchange Act of 1934. | ||||||
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.